Comprehensive Onboarding Workflow

Our comprehensive onboarding workflow has four steps:

  • Multi-dimensional risk tolerance assessment
  • Behavioral assessment flow
  • Demonstrate value
  • The best Investment Policy Statement (IPS) on the market

Multi-dimensional Risk Tolerance

It is difficult to get an accurate assessment of an investor’s risk tolerance. We use risk appetite questionnaire to cross-examine the result from the Risk Tolerance Test to improve accuracy and invite in-depth conversations.

This Risk Tolerance Test is intuitive, transparent, and maps directly to one of your models.

Behavioral Assessment Flow

Our mini-questionnaires makes behavioral finance easy to use. You can customize the flow and incorporate the multi-dimensional risk assessment too!

Demonstrate Value

We use efficient frontier visualization to help you analyze the prospect’s portfolios. You will be able to show if risk is aligned and if the portfolio is efficient.

Click here to try out our efficient frontier visualization. Play with the time horizon and as-of-date to see what it looks like for any time period.

Investment Policy Statement (IPS)

Now the prospect becomes the client, it is time to generate the Investment Policy Statement.

On June 30, 2020, the Security and Exchange Commission’s Regulation Best Interest (Reg BI) goes into effect for broker-dealers, registered investment advisers, and dual registrants, making the IPS an indispensable part of the process.

A proper IPS tells the value-add story and the long-term story, establishing a solid foundation for a trusting relationship for years to come.


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